Richard Treta
Richard Treta is a CFP-designated registered investment advisor at Planmember Securities Corporation, based in Austin, TX, with 40 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 69,645 clients with $10B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 0.25% |
| $500K - $1.0M | 0.20% |
| $1M+ | 0.10% |
Maximum annual fee rate is 2.00% across programs; tiered schedule applies to accounts established on or after January 1, 2026. Fees are negotiable.
Fee Estimator
Location
Austin, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard is a managing partner at Penwell Treta Wealth Management, focusing on securities and insurance sales and services, dedicating nearly full-time hours to this. He is also an insurance agent, spending about 10-20% of his time and time during trading hours on insurance sales and services.
Employment History
Current Registrations
Planmember Securities CorporationBroker
Planmember Securities Corporation
Previous Registrations
Lincoln Financial Advisors Corporation
Lincoln Financial Advisors CorporationBroker
Level Four Advisory Services
Securities America, INC.Broker
Pruco Securities, LLC.Broker
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
Prudential Financial Planning Services
American Express Service CorporationBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
Blinder, Robinson & CO., INC.Broker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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